Disciplinary Procedures

Question 1

What disciplinary penalties are available to the RICS?

Answer 1

• Consent order for minor breaches which may require the member or firm to take a certain action, pay a fine (up to £2,000.00 per breach) and pay RICS costs.
• Fixed penalty fine or caution for minor breaches relating to failure to provide information to the RICS.
• Referral to disciplinary panel for serious breaches which may result on consent orders, fixed penalty fines or caution, expulsion from membership and deregistering of regulated firms.

Question 2

What are the different levels of disciplinary procedures for the RICS?

Answer 2

several levels, starting with fixed penalty notices for minor breaches and escalating to regulatory compliance orders, single member hearings, and disciplinary panels for more serious offenses.

DWL answer:
- Review by head of regulation.
- Potential referral to disciplinary panel.
- Potential appeal to appeal panel.

Internet:
The RICS disciplinary process involves several levels, starting with fixed penalty notices for minor breaches and escalating to regulatory compliance orders, single member hearings, and disciplinary panels for more serious offenses. A case can be referred to a single member of the Regulatory Tribunal or a Disciplinary Panel, depending on the severity. Disciplinary Panels can issue sanctions like cautions, fines, conditions, or even expulsion. Decisions can be appealed to the Appeal Panel.

Question 3

What are the penalties for failing to comply with the RICS CPD requirements?

Answer 3

• First CPD breach will result in fixed penalty caution being issued which will remain on the disciplinary record for 10 years.
• Second CPD breach will result in second fixed penalty caution and £150.00 fine being issued which will be published on the RICS website.
• Third CPD breach will result on referral to disciplinary panels and possible expulsion from membership and costs being awarded.

Question 4

Who is the disciplinary panel made up of?

Answer 4

• Must comprise of a chair and at least two other panellists.
• One panellist must be a lay member (not an RICS professional).

Question 5

Can an RICS member of firm appeal against disciplinary action?

Answer 5

• An RICS member or firm can appeal against disciplinary action to the appeals committee.

The decisions of the Disciplinary Panel can be appealed to the Appeal Panel, but the appeal must be lodged within 28 days of receiving the outcome letter, according to the RICS Regulatory Tribunal Rules.